Leo Yu
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Leo Yu was a registered financial professional .
Leo is a previously registered financial professional and started their career in finance in 2019. Leo had worked at 3 firms and has passed the Series 57TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2019 - August 21, 2024
OLD MISSION MARKETS LLC
November 4, 2019 - August 21, 2024
OLD MISSION CAPITAL, LLC
September 13, 2019 - October 1, 2019
VOLANT LIQUIDITY, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 9/13/2019
Securities Trader ExamCurrent Firm
OLD MISSION MARKETS LLC
CRD#: 281867 / SEC#: , 8-69691
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OLD MISSION FINANCIAL SERVICES LLC | OWNER | |
| GASTON, STEVEN JOHN | CHIEF COMPLIANCE OFFICER | 3094187 |
| GUZOWSKI, JOSEF MICHAEL | MANAGER, CEO | 2989719 |
| KEITH, ALLEN THOMAS | FINOP | 4457493 |
| MARQUEZ AVITIA, ERICA NMN | CHIEF OPERATING OFFICER | 5074353 |
| NICHOLS, PATRICK JAMES | MANAGER | 4757503 |
| RUSSINA, BRYAN SCOTT | MANAGER | 5031844 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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